Responsible Officer (Type 9) New Business Set-Up

Company : Executive Access

Job Type : Full Time

Hong Kong

Job Description - Responsible Officer (Type 9) New Business Set-Up

Core Responsibilities

SFC Liaison : Handle the end-to-end Type 9 licensing process and maintain an ongoing, transparent relationship with the SFC.
Operational Architecture: Draft and implement the firm’s compliance manuals, risk management protocols, and internal controls.
Business Launch: Advise on the regulatory feasibility of various investment strategies and fund structures (OFC/LPF).
Leadership: Supervise daily trading and investment operations, ensuring absolute adherence to the Fund Manager Code of Conduct.

Requirements

Qualified RO: Must currently or recently have held SFC Responsible Officer status for Type 9
Setup Experience: Ideally, you have been involved in a "Point 0" setup or have significant experience in a boutique asset management environment.
Communication: English and Chinese.

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Responsible Officer (Type 9) New Business Set-Up

Job Description - Responsible Officer (Type 9) New Business Set-Up

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